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11 Nov 2021, 5:44 am
Iorio Altamirano LLP, a leading securities arbitration law firm, has filed a case through the Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services’ arbitration forum against Aegis Capital Corp. [read post]
12 Jul 2012, 6:23 am
This post provides a quick summary of types of claims often made in the broker-dealer/financial advisor context and how the outcome of the resulting hearing can affect a representative’s status. [read post]
12 Jul 2012, 6:23 am
This post provides a quick summary of types of claims often made in the broker-dealer/financial advisor context and how the outcome of the resulting hearing can affect a representative’s status. [read post]
27 Apr 2022, 6:47 am
In the case of a financial services representative, the broker has control of the money, but not ownership, and has intent to take or misappropriate the funds and use it for their own purposes. [read post]
8 Apr 2011, 10:00 pm
CBO Director Douglas Elmendorf released the cost projection at a recent House Financial Services Oversight and Investigations Subcommittee hearing on the reform law. [read post]
23 Apr 2020, 10:28 am
Working as a team, our lawyers have significant experience prosecuting claims against various financial services and insurance companies for misconduct. [read post]
6 Feb 2015, 5:33 am
That tension has manifested in the thoughtful – and, quite frankly, scary – amicus brief filed by the Center for Competitive Politics on behalf of the Financial Services Institute. [read post]
16 Mar 2014, 2:48 pm
The House Financial Services Committee marked up and approved legislation clarifying that nothing in the Volcker Rule should be construed to require the divestiture, prior to July 21, 2017, of any debt securities of collateralized loan obligations, if such debt securities were issued before January 31, 2014. [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman, Buckman & Reid, Inc… [read post]
4 May 2017, 1:32 pm
What do the leaders of the wealth management industry, broker-dealers and advisors, think are the major issues in providing wealth management services in the current environment? [read post]
27 Dec 2023, 11:21 am
SW Financial Bertram Unger Edward Jones Pruco Securities, LLC Jessica Wade Shane Wilhelm Fortune Financial Services, Inc. [read post]
7 Mar 2022, 12:43 pm
GWG is a financial services firm based in Dallas that owns and manages a diverse portfolio of life insurance policies that included some $1.8 billion in face value of life insurance policy benefits. [read post]
4 Dec 2020, 1:23 pm
Wells Fargo Clearing Services, LLC Paul Stanford Santander Securities LLC Ameriprise Financial Services, Inc. [read post]
27 Mar 2017, 9:00 am
On March 8, 207, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Administrative and Cease-and-Desist Proceedings (“Order”) against Voya Financial Advisors, Inc. [read post]
11 Feb 2015, 3:22 pm
New evidence suggests that UBS Financial Services Inc. [read post]
12 May 2011, 5:00 am
If the product or service is valid, it won't have to be sold with screaming headlines or scare tactics. [read post]
5 Dec 2023, 10:38 am
FINRA Bars Sean Pong after Allegations of Outside Business Activities According to public records, on June 7, 2023, FINRA, the self-regulator that oversees brokers and brokerage firms, has reportedly barred financial advisor Sean Pong (Syany Pong, CRD#: 2406530). [read post]
6 Mar 2018, 4:00 am
The post IRS Issues 2018 Form W-4, Updated for TCJA Changes appeared first on HR Daily Advisor. [read post]
9 May 2018, 3:42 am
The post IRS Restores Maximum Family HSA Contribution to $6,900 appeared first on HR Daily Advisor. [read post]
9 May 2018, 3:42 am
The post IRS Restores Maximum Family HSA Contribution to $6,900 appeared first on HR Daily Advisor. [read post]
